NASD REGULATION INC., AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dale W. Davis 96-05350 Name of Respondent First Chicago NBD Investment Services REPRESENTATION Claimant, Dale W. Davis was represented by Leigh R. Pietsch, Esq. of Pietsch, Cuchna & Popejoy, Wheaton, Illinois. Respondent, First Chicago NBD Investment Services was represented by John Simmons, Esq. of First Chica

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ardath Coolidge Trust and 96-05349 Name of Respondent Smith Barney, Inc. REPRESENTATION OF PARTIES Ardath Coolidge Trust ("Claimant") was represented by Robert D. Lee, Esq., Hardig, Lee and Groves, South Bend, Indiana. Smith Barney, Inc. ("Respondent Smith Barney") were represented by Etta M. Gumbs, Esq., Smith Barney, Inc.,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Jack and Esther Mihelich, Claimants, v. No. 96-05345 Bear Stearns & Co., Inc., and Fulton Greg Cook, Respondents. REPRESENTATION OF PARTIES Claimants Jack and Esther Mihelich ("Claimants") were represented by Walter L. Baumgardner, Esq. of Musilli, Baumgardner, Wagner & Parnell located in St. Clair Shores, Michigan. Respondents Bear Stearns & Co

RCV 6- 5-98 : 1 : -4-2PM : ARBITRATION DPT: # 2 ££:(?! 86, £0 N.A.S.D* REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Monterey Bay Securities, inc. 96-05342 Thomas MarscHa OF PAHTIES Claurant William P. Torogren, Esq., Old Sacramento, California. For Respondent; He represented himself, pro sc, CASE INFQUMATTON Claimant's Statement of Claim was filed on or about Decembe

AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Alan L.'Norton, M.D. IRRA NASD Regulation, Inc. Office of Dispute Resolution Arbitration No. 96-05341 Name of Respondent Merrill Lynch For Claimant: For Respondent: Statement of Claim filed: REPRESENTATION Alan L. Norton, In Pro Per Timothy N. Will, Esq. Keesal, Young & Logan Long Beach, California

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between of Claimant Prime Charter LTD 96-05329 Name of Respondent James D. Ritter REPRESENTATION For Claimant Prime Charter LTD ("Claimant") appeared David N. Mahler, Esq., in-house counsel for Claimant located in New York, New York. For Respondent James D. Ritter ("Respondent") appeared Richard DeVita, Esq., a sole practitioner with offices in Hoboken, New Jersey. CASE INF

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven J. Lynch and Jane E. Fontaine (Claimants) v. Berry-Shino Securities, Inc., Wayne Richardson (Respondents) v. William J. Muenckler (Third-party Respondent) Case Number: 01-02242 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person vs. Associated Person REPRESENTATION OF PARTIES Claimants, Steven J. Lynch ("Lynch") and Jane E. Fonta

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Donald Fay and Mary Fay (Claimants) vs American Investment Services, Inc., Torin Greenspan, William Cutrone, Lawrence J. Penna, Herman Epstein, Vincent Grieco, Douglas Mangan, and Vision Global, Inc. (Respondents) Case Number: 96-05328 HearinqSite: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Donald Fay and Mary Fay ("Fay"): Ronald Amato, Eccleston and Associates, Chicago,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Eileen Janes and 96-05326 Name of Respondent Sentra Securities Corporation Michael J. Irwin REPRESENTATION OF PARTIES Eileen Janes ("Claimant") was represented by Thomas D. Birge, Esq. and Cathryri B. Mayers,' Esq., Birge & Mayers, P.C., Denver, Colorado. u :'; rge & \ L Sentra Securities Corporation ("Respondent Sentra") an

M.A.5J>. AWARD K&SD Regulation, Inc. Office of Dispute Resototioo la to Matter of the Arbitration Between Tibwon, ftc. 9W5320 of Respondents Euro-Atlantic Securities, Inc. Michael Payne REPRESENTATION For Claimant: Rolf M, Baghdady, FA., Columbia, South Carolina. For Rfispondeot Bpra-Aflanlfc Securities, Inc. ("Euro-Atlantic 1 '): Mich** H. Forme, E*q, of the law firm of Laopert A Umpetct, E&qs.» New York, New Yoric until his withdra